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degree and admission to the bar, as well as a minimum of seven years of experience in securities-related regulatory and/or complex litigation.... The Director must also have experience managing and leading teams, as well as excellent communication and organizational skills...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and require affirmative action by covered prime contractors and subcontractors to...
non-governmental regulator for all securities firms doing business with... maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed,...
non-governmental regulator for all securities firms doing business with... public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry...
Job title: General Counsel Associate 2. Organization: Public Company Accounting Oversight Board (PCAOB) 3. Location: Washington . 4. Time type: Full time 5. Salary range: $260,200 - $408,100 per year 6. Job requisition ID: R1063 Role Summary: The PCAOB...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Enforcement - Woodbridge, NJ/Jersey City, NJ/Jericho, NY/Denver, CO/Dallas, TX/Chicago, IL/Boston, MA/Boca Raton, FL/Washington, DC/San Francisco, CA/Rockville, MD/Philadelphia, PA/New York, NY/Los Angeles, CA Overview: - The Enforcement Director manages a team of 5-8 attorneys responsible for developing and resolving...
General Counsel, Regulatory - Job Summary: This is a senior-level legal position that involves providing advice and support for the adoption of new regulatory initiatives and acting as a subject matter expert in various areas of legal expertise. The...
Enforcement: - Responsible for managing a team of 5-8 Enforcement attorneys and overseeing all stages of Enforcement cases - Ensures that outcomes in each case are supported by thorough and accurate factual findings and clear legal framework - Monitors aging...
is a registered trademark of the Financial Industry Regulatory Authority, Inc. H1: Senior Paralegal, Oversight Liaison and Counsel - Full Time Position with FINRA H2: Join Our Team and Make a Difference in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) Department: Office...